Associations/Trade Groups

The Trump Administration’s proposed overhaul of the Volcker Rule should go even further by making clear that it may take more than three years to ...

Broker-dealers and even investment advisers who are worried about complying with European research rules that conflict with American law shouldn’t wait to get their affairs ...

SEC enforcement should focus on finding individuals responsible for wrongdoing, Democratic Commissioner Allison Herren Lee told a crowd of compliance professionals at the Investment Adviser ...

The financial services industry and a watchful market determining how best to react

The report found “significant failures” caused primarily by “systemic, longstanding, governance-level weaknesses” that can’t be addressed “without commensurate governance reforms”

An open question is circulating among a group of advisers about whether firms that serve institutional clients – yet also feature wrap fee programs that ...

The number of registered investment advisers—and the amount of assets they manage—have both reached new records once again as reported in the annual Evolution Revolution ...

A new Investment Company Institute report on proxy voting released July 29 reveals that fund advisers don’t mechanically vote or take a one-size-fits-all approach when ...

A New York assemblyman is preparing legislation that will bring the ongoing battle over whether broker-dealers owe a fiduciary duty to their clients to the ...

And the beat goes on. For six years running, cybersecurity has remained the biggest compliance concern at SEC-registered investment adviser firms, according to an industry ...